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12/16/2019IARD All Sections [Username: slouch, Org ID: 107997]FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: MID-CONTINENT
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How to fill out form adv - mcc
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01
To fill out Form ADV - MCC, follow these steps:
1. Obtain a copy of the form from the appropriate regulatory authority.
02
Read the instructions carefully to understand the requirements and sections of the form.
03
Provide general information about your firm, such as legal name, address, and contact details.
04
Disclose information about your firm's ownership and control, including names and addresses of principal owners.
05
Provide details about your firm's business operations, investment strategies, and types of advisory services offered.
06
Disclose information about your firm's disciplinary history and conflicts of interest.
07
Complete the sections related to your firm's fees, compensation, and financials.
08
Review the completed form for accuracy and completeness.
09
Submit the form to the appropriate regulatory authority within the designated timeframe.
10
Keep a copy of the completed form for your records.
Who needs form adv - mcc?
01
Form ADV - MCC is needed by investment advisers who provide advice or services related to municipal securities.
02
It is also required for firms managing municipal fund securities or offering investment advice to municipal entity clients.
03
Additionally, investment advisers who are registered with the Securities and Exchange Commission (SEC) or state securities authorities must file Form ADV - MCC.
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What is form adv - mcc?
Form ADV-MCC is a form used by municipal advisors to register with the Securities and Exchange Commission (SEC) and provide information about their business.
Who is required to file form adv - mcc?
Municipal advisors are required to file Form ADV-MCC.
How to fill out form adv - mcc?
Form ADV-MCC can be filled out electronically through the SEC's Investment Adviser Registration Depository (IARD) system.
What is the purpose of form adv - mcc?
The purpose of Form ADV-MCC is to provide the SEC with information about municipal advisors and their business practices.
What information must be reported on form adv - mcc?
Form ADV-MCC requires information about the municipal advisor's business activities, affiliations, and regulatory history.
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